The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Suitability for Retail Customers
Fixed Income Mark-up Disclosure
Reasonable Diligence for Private Placements
Abuse of Authority
SEC Approves Proposed Rule Filing SR-FINRA-2011-063 related to Information Barrier ID, Customer Instruction Flag and the OATS Reporting Deadline.
In the near-future, FINRA is introducing a new TRACE Markup/Markdown Analysis Report on the Report Center. The report displays a firm's markup and markdown behavior compared to the industry and provides the underlying details used to calculate the markup or markdown.
Archive of OATS information
The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
The OATS Web Interface is intended for all Order Sending Organizations (OSOs) — including member firms and third parties acting on behalf of member firms.
Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
